DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
D••••• D•••• I••••••••• C••••••• I•••
Latest filing Jun 24, 2026
First filing on the tape Apr 11, 2012 · 28 filings
SEC status approved since Jan 31, 1991
RAUM
$12.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$12.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$12.9M as of Jun 24, 2026
May 17, 2012$4.5M then
HNW client RAUM$7.5M as of Jun 24, 2026
Apr 19, 2018$2.1M then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
May 17, 20120 then
Employees (5.A)0 as of Jun 24, 2026
May 22, 201312 then
Private funds: no history
RAUM +1.8% over the last fiscal year+1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $614,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.5M58%
- Individuals$5.5M42%
- Individual clients
- 9reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• J••••••••• · Director, Vice Presidentcontrolsince 11/2021 · owns less than 5%
- O••••••••• J•••• M••••• · Director, Chairman, Secretary, Chief Compliance Officer & Ceocontrolsince 12/2010 · owns less than 5%
- R••••••• D•••••• W•••••• · Presidentcontrolsince 03/2023 · owns less than 5%
Entity owners
- D•••••••• L••• · Shareholderdirect · owns 75% or more
- S•••••••• I••••••••• M••••••••• I••• · Shareholderindirect · owns 75% or more of D•••••••• L•••
Related persons
Schedule D 7.A
- D•••••••• L•••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 21Aug 27, 2025 to Jun 24, 2026
- Individual clients · 12 to 9Aug 27, 2025 to Jun 24, 2026
- Discretionary RAUM · $12.3M to $12.9MAug 27, 2025 to Jun 24, 2026
- HNW RAUM · $6.9M to $7.5MAug 27, 2025 to Jun 24, 2026
- Individual RAUM · $5.3M to $5.5MAug 27, 2025 to Jun 24, 2026
- RAUM · $12.3M to $12.9MAug 27, 2025 to Jun 24, 2026
- Financial planning clients · 0 to 0Jun 12, 2025 to Aug 27, 2025
- Accounts · 25 to 22Jan 23, 2025 to Jun 12, 2025
- Advisory employees · 4 to 0Jan 23, 2025 to Jun 12, 2025
- HNW clients · 4 to 2Jan 23, 2025 to Jun 12, 2025
- Individual clients · 10 to 12Jan 23, 2025 to Jun 12, 2025
- Employees · 10 to 0Jan 23, 2025 to Jun 12, 2025
- Discretionary RAUM · $12.9M to $12.3MJan 23, 2025 to Jun 12, 2025
- HNW RAUM · $8.5M to $6.9MJan 23, 2025 to Jun 12, 2025
- Individual RAUM · $4.4M to $5.3MJan 23, 2025 to Jun 12, 2025
- RAUM · $12.9M to $12.3MJan 23, 2025 to Jun 12, 2025
- HQ state · unset to Jun 13, 2024 to Jan 23, 2025
- Accounts · 20 to 25Jun 5, 2023 to Jun 12, 2024
- Advisory employees · 5 to 4Jun 5, 2023 to Jun 12, 2024
- HNW clients · 3 to 4Jun 5, 2023 to Jun 12, 2024
- Individual clients · 14 to 10Jun 5, 2023 to Jun 12, 2024
- Employees · 11 to 10Jun 5, 2023 to Jun 12, 2024
- Discretionary RAUM · $12.7M to $12.9MJun 5, 2023 to Jun 12, 2024
- HNW RAUM · $6.7M to $8.5MJun 5, 2023 to Jun 12, 2024
- Individual RAUM · $6.0M to $4.4MJun 5, 2023 to Jun 12, 2024
- RAUM · $12.7M to $12.9MJun 5, 2023 to Jun 12, 2024
- Individual clients · 13 to 14Jun 14, 2022 to Jun 5, 2023
- Employees · 10 to 11Jun 14, 2022 to Jun 5, 2023
- Discretionary RAUM · $13.7M to $12.7MJun 14, 2022 to Jun 5, 2023
- HNW RAUM · $7.2M to $6.7MJun 14, 2022 to Jun 5, 2023
- Individual RAUM · $6.5M to $6.0MJun 14, 2022 to Jun 5, 2023
- RAUM · $13.7M to $12.7MJun 14, 2022 to Jun 5, 2023
- Employees · 11 to 10Jun 8, 2021 to Jun 14, 2022
- Discretionary RAUM · $12.4M to $13.7MJun 8, 2021 to Jun 14, 2022
- HNW RAUM · $6.8M to $7.2MJun 8, 2021 to Jun 14, 2022
- Individual RAUM · $5.6M to $6.5MJun 8, 2021 to Jun 14, 2022
- RAUM · $12.4M to $13.7MJun 8, 2021 to Jun 14, 2022
- Accounts · 26 to 20May 3, 2021 to Jun 1, 2021
- Individual clients · 17 to 13May 3, 2021 to Jun 1, 2021
- Discretionary RAUM · $10.3M to $12.4MMay 3, 2021 to Jun 1, 2021
Signals
3 dated events
- William Donald Ritchie (President) appeared on Schedule A of D••••• D•••• I••••••••• C••••••• I•••Jun 12, 2024 · Control person joined · fact
- Jean-Christophe O'Connell (Director, Vice President) appeared on Schedule A of D••••• D•••• I••••••••• C••••••• I•••Jun 14, 2022 · Control person joined · fact
- Zachary Peter Curry (Director, Senior Vice President, Chief Compliance Officer & Coo) no longer on Schedule A of D••••• D•••• I••••••••• C••••••• I••• (listed 2022-06-14, absent 2022-06-14)Jun 14, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 416-324-2200reportedpublic record, Form ADV, Jun 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026